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Showing 113 to 122 of 453 search results for Transforming culture in financial.
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Forms
List of all forms on fca.org.uk For Handbook forms, please use the Handbook forms page. -
Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Confidence to crisis and back
Speech by Martin Wheatley, CEO of the Financial Conduct Authority, delivered at the IOSCO conference in London. This is the text of the speech as drafted, which may differ from the delivered version. -
Final Notice 2022: Matthew Charles Kent [pdf]
This Final Notice (Matthew Charles Kent) refers to breaches of APER 7 related to the failure to ensure compliance with PRIN 3 in the trading firms sector, which led to further breaches of SUP 17, SUP 15 and Article 16 of MAR. We imposed a financial -
Whistleblowing quarterly data 2023 Q4
The data shows the number of new whistleblowing reports the FCA received in October and December 2023 and the allegations they featured. -
Final Notice 2022: Sigma Broking Limited [pdf]
This Final Notice (Sigma Broking Limited) refers to breaches of SUP 17, SUP 15, PRIN 3 and Article 16 of MAR related to market abuse and transaction reporting failures in the trading firm sector. We imposed a financial penalty. -
Outlining the FCA’s approach to authorisation
Speech by Sarah Rapson, Director, Authorisations at the Association of Professional Compliance Consultants (APCC) Annual Conference. -
Future Horizons Conference
Our Future Horizons Conference was held in April 2017 and brought together leading thinkers to look at the big challenges facing financial services over the next 15 years. -
Treating vulnerable consumers fairly
Find out about our work on the fair treatment of vulnerable customers, including why vulnerability matters, how it affects your firm, and our guidance on supporting customers in vulnerable circumstances. -
Leadership and conduct
Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version. -
Whistleblowing quarterly data 2023 Q3
The data shows the number of new whistleblowing reports the FCA received in July and September 2023 and the allegations they featured. -
The role of regulation in encouraging good culture
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Investment Association Culture Conference, Mansion House, London.